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Taft Stephenson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wilmington, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-07-16
NC RA APPROVED 2002-07-23
  • TX RA
    APPROVED_RES
    Since 2009-07-16
  • NC RA
    APPROVED
    Since 2002-07-23

Branch Locations

1123 Military Cutoff Rd, Wilmington, NC 28405 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wilmington NC 05/1999 Present
Bank Of America, N.A. Wilmington NC 07/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-19
S63 Uniform Securities Agent State Law Examination 1995-10-13
  • S65 Uniform Investment Adviser Law Examination
    2002-07-19
  • S63 Uniform Securities Agent State Law Examination
    1995-10-13
Other Names
  • Joseph Taft Stephenson
  • Js Taft Stephenson
  • Joseph Severance Taft Stephenson

View on SEC IAPD

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